Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sherman King is a financial advisor with over 34 years of experience in the industry. Currently, James King is registered with Stifel, Nicolaus & Company, Inc. in Morristown, NJ. Prior to joining Stifel, Nicolaus & Company, Inc., James King was a registered representative at RBC Capital Markets, LLC. James King holds several licenses, including Series 6, 7, 24, 52TO, 63, and 65, demonstrating expertise in various financial products and services. James King's specializations include providing financial planning, portfolio management for individuals and businesses, and pension consulting services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
06/12/2023 - Present
Stifel, Nicolaus & Company, Inc. (MORRISTOWN NJ)
NJ
03/09/2002 - 06/08/2023
RBC CAPITAL MARKETS, LLC (FLORHAM PARK NJ)
MA
09/01/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NJ
06/20/1989 - 09/01/1999
GIBRALTAR SECURITIES CO. (FLORHAM PARK NJ)
NA
12/14/1987 - 04/06/1989
GIT INVESTMENT SERVICES, INC.
IA
Issued 06/26/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1989
Series 7 - General Securities Representative Examination
BC
Issued 12/11/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James King is the right advisor for you? Invested Better is here to help.
